SEBI

All about Limited Review under SEBI Law

SEBI - 1. Introduction a. Limited Review can be defined as the audit of financial statements on quarterly basis. b. Listed companies are required to conduct limited review through statutory auditors c. Every listed co. under clause 41 of the listing agreement is required to furnish the unaudited quarterly result in the prescribed format to the c...

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Inter Se Transfers under SEBI (SAST) Regulations, 2011

SEBI - SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 provides mandates that an acquirer shall make a public announcement of an open offer if he is acquiring shares/voting rights, directly or indirectly, which along with his existing holding, will entitle him to exercise more than 25% of voting rights of the target comp...

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SEBI amends ICDR Regulations to include SR equity shares

SEBI - SEBI has vide notification dated July 29, 2019 notified SEBI (Issue of Capital and Disclosure Requirements) (Third Amendment) Regulations, 2019. The Amendment Regulations deal with issue of shares with differential voting rights....

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Certification on Reconciliation of Share Capital

SEBI - This article deals with Share Capital certification applicability, its requirement and procedures to be followed while certifying the reconciliation of share capital of both listed as well as listed companies....

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Why amendments introduced in SEBI Insider Trading Regulations

SEBI - In order to promote healthy growth of the securities market in India and to protect common investor in India, the SEBI vide SEBI (Prohibition of Insider Trading) Amendment Regulations, 2018 notified certain amendments to SEBI (Prohibition of Insider Trading) Regulations 2015...

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SEBI seeks comments on Report on Issues related to Proxy Advisers

SEBI - SEBI regulates the activities of proxy advisors in India under SEBI (Research Analyst) Regulations, 2014. Under these regulations, such entities are required to register with SEBI and comply with the provisions pertaining to formation of internal policies and procedures, disclosures in the reports, code of conduct, maintaining record of v...

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Paper on amendment to SEBI (Prohibition of Insider Trading) Regulations, 2015

SEBI - Securities and Exchange Board of India Discussion Paper on amendment to the SEBI (Prohibition of Insider Trading) Regulations, 2015 to provision for an informant mechanism INTRODUCTION: 1. Insider trading is defined in the SEBI (Prohibition of Insider Trading) Regulations, 2015 (‘PIT Regulations’) to mean trading of securities while ...

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SEBI Discussion Paper on Framework for Regulatory Sandbox

SEBI - Participants in the capital market in India have been early adopters of technology. SEBI believes that encouraging adoption and usage of financial technology (‘FinTech’) would have a profound impact on the development of securities market. FinTech can act as an instrument to further develop and maintain an efficient, fair and transpar...

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SEBI Discussion Paper on Review of Rights Issue Process

SEBI - The objective of this discussion paper is to seek comments / views from the public and market intermediaries on Review of Rights Issue Process....

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Review of SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015

SEBI - CONSULTATION PAPER Review of SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015 A. Objective: 1. To seek public comments on the proposals relating to SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015 (hereinafter referred to as “ILDM Regulations”) with a view to, inter...

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SC ask IBC and SEBI to join Process in ‘Ponzi scheme’ matter

Anant Kajare Vs. Eknath Aher & Anr.(Supreme Court) - Anant Kajare Vs. Eknath Aher & Anr. (Supreme Court) Battery of lawyers appeared in the high profile alleged ‘Ponzi scheme’ matter. This matter has been travelling to Supreme Court time and again. Previously, SEBI held that the scheme run by Citrus Check inn Limited and Royal Twinkle Star Clu...

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SEBI bars ‘Reliance Industries’ from accessing equity market

Re. Reliance Petroleum Ltd. (RPL) (SEBI) - Going by the facts narrated by Noticee No. 1, liquidation of 5 % stake was decided. The same had to be done in an orderly manner. There was no outer time fixed for liquidation. Being guided by the analysts reports and the price trends of the scrip, Noticee No. 1 decided to start the sale in November...

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Liability of Directors for Events Taken Place Before Appointment- SAT Ruling

Mr. Nimain Charan Biswal (Securities And Exchange Board Of India) - In one of the recent rulings of the SAT, Mumbai, the interim order passed by SEBI in the matter of Neesa Technologies Limited(Company) has been quashed qua one of the directors i.e. Mr. Nimain Charan Biswal who had joined and resigned from the directorship of the Company before the issuance of Non-c...

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Facebook friends may be treated as connected for Insider Trading

In the matter of trading in the shares of Palred Technologies Limited (Securities and Exchange Board of India) - In this case observed that having mutual friends on Facebook will form the basis of determination and to establish connection between the parties who have committed Insider Trading in Violation of SEBI (Prohibition of Insider Trading) Regulations, 2015. ...

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SEBI orders attachment of properties owned by Sahara India Red Estate & its directors

I further direct the attachment of all movable and immovable properties standing in the names of Shri Subrata Roy Sahara, Ms Vandana Bhargava, Shri Ravi Shanker Dubey and Shri Ashok Roy Choudhary with immediate effect. These individuals are directed to furnish details of all movable and immovable p...

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Framework for issue of Depository Receipts

SEBI/HO/MRD/DOP1/CIR/P/2019/106 - (10/10/2019) - Listed Company is in compliance with the requirements prescribed under SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 and any amendments thereof....

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SEBI (Buy-Back of Securities) (Amendment) Regulations, 2019

Notification No. SEBI/LAD-NRO/GN/20 19/26 - (29/07/2019) - 1. These regulations may be called the Securities and Exchange Board of India (Buy-Back of Securities) (Amendment) Regulations, 2019. 2. These regulations shall come into force on the date of their publication in the Official Gazette....

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SEBI (Delisting of Equity Shares) (Amendment) Regulations, 2019

Notification No. SEBI/LAD-NRO/GN/2019/25 - (29/07/2019) - 1. These regulations may be called the Securities and Exchange Board of India (Delisting of Equity Shares) (Amendment) Regulations, 2019. 2. They shall come into force on the date of their publication in the Official Gazette....

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SEBI guide to implement Uniform membership structure across segments

Circular No. SEBI/HO/MIRSD/DOP/CIR/P/2019/14 - (11/01/2019) - Securities and Exchange Board of India CIRCULAR SEBI/HO/MIRSD/DOP/CIR/P/2019/14 January 11, 2019 To, 1. All Recognized Stock Exchanges 2. All Clearing Corporations Dear Sir / Madam, Sub: Uniform membership structure across segments 1. In cash segment, all the Stock Brokers are trading cum self-clear...

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SEBI (Foreign Portfolio Investors) (Third Amendment) Regulations, 2018

Notification No. SEBI/LAD-NRO/GN/ 2018/58 - (31/12/2018) - 1. These regulations may be called the Securities and Exchange Board of India (Foreign Portfolio Investors) (Third Amendment) Regulations, 2018. 2. They shall come into force on the date of their publication in the Official Gazette....

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Recent Posts in "SEBI"

All about Limited Review under SEBI Law

1. Introduction a. Limited Review can be defined as the audit of financial statements on quarterly basis. b. Listed companies are required to conduct limited review through statutory auditors c. Every listed co. under clause 41 of the listing agreement is required to furnish the unaudited quarterly result in the prescribed format to the c...

Read More
Posted Under: SEBI |

Framework for issue of Depository Receipts

SEBI/HO/MRD/DOP1/CIR/P/2019/106 (10/10/2019)

Listed Company is in compliance with the requirements prescribed under SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 and any amendments thereof....

Read More

Inter Se Transfers under SEBI (SAST) Regulations, 2011

SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 provides mandates that an acquirer shall make a public announcement of an open offer if he is acquiring shares/voting rights, directly or indirectly, which along with his existing holding, will entitle him to exercise more than 25% of voting rights of the target comp...

Read More
Posted Under: SEBI |

SEBI amends ICDR Regulations to include SR equity shares

SEBI has vide notification dated July 29, 2019 notified SEBI (Issue of Capital and Disclosure Requirements) (Third Amendment) Regulations, 2019. The Amendment Regulations deal with issue of shares with differential voting rights....

Read More
Posted Under: SEBI |

Certification on Reconciliation of Share Capital

This article deals with Share Capital certification applicability, its requirement and procedures to be followed while certifying the reconciliation of share capital of both listed as well as listed companies....

Read More
Posted Under: SEBI |

Why amendments introduced in SEBI Insider Trading Regulations

In order to promote healthy growth of the securities market in India and to protect common investor in India, the SEBI vide SEBI (Prohibition of Insider Trading) Amendment Regulations, 2018 notified certain amendments to SEBI (Prohibition of Insider Trading) Regulations 2015...

Read More
Posted Under: SEBI |

Disclosure of Reason for Encumbrance of Securities by Promoters

In order to bring greater transparency regarding reasons for encumbrance, particularly when significant shareholding by promoter along with persons acting in concert (PACs) with him is encumbered. The Securities and Exchange Board of India came up with a new Circular SEBI/HO/CFD/DCR1/CIR/P/2019/90 dated August 07, 2019 which calls for add...

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Posted Under: SEBI |

Additional Disclosure on Pledge of Shares by Promoters (Along With PACs)

SEBI vide its circular dated August 07, 2019 have asked for additional disclosure w.r.t. encumbrance of shares by promoter of listed companies along with PAC, the detailed reason to be specified. The said circular will come into effective from October 1, 2019. Applicability: Combined encumbrance by Promoter + PAC is equal or exceeds 50% o...

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Posted Under: SEBI |

Promoters of Listed Companies to disclose reasons for encumbrance

SEBI issues a circular on 07th August 2019 on Disclosure of reasons for encumbrance by Promoters of Listed Companies to to bring greater transparency regarding reasons for encumbrance, particularly when significant shareholding by promoter along with persons acting in concert (PACs) with him is encumbered. The provisions of this circular ...

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Posted Under: SEBI |

SEBI (Buy-Back of Securities) (Amendment) Regulations, 2019

Notification No. SEBI/LAD-NRO/GN/20 19/26 (29/07/2019)

1. These regulations may be called the Securities and Exchange Board of India (Buy-Back of Securities) (Amendment) Regulations, 2019. 2. These regulations shall come into force on the date of their publication in the Official Gazette....

Read More

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